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Posts Tagged ‘Series 9/10 Exam Guide’

Series 9/10 Study Guide

The Series 9/10 exams are managed by the Financial Industry Regulatory Authority (FINRA). This was delegated to them by the National Association of Securities Dealers (NASD). Once you have passed both Series 9 and 10, you will become a qualified General Securities Sales Supervisor. You will be allowed to serve as a principal who supervises [...]